Proceeding Number 2010024837301

Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro

March 21, 2013

Respondent is barred from associating with any FINRA member firm in any capacity for misusing customers’ funds, in violation of FINRA Rules 2150(a) and 2010 and for failing to provide documents in response to staff requests, in violation of FINRA Rules 8210 and 2010. Respondent also is ordered to pay restitution.

View Decision (PDF 67 KB)